Private Equity Compliance

This book provides a next-step resource to Hedge Fund Compliance, author Jason Scharfman's previous book.

Private Equity Compliance

Author: Jason A. Scharfman

Publisher: John Wiley & Sons

ISBN: 1119479630

Page: 224

View: 507

Develop and manage a private equity compliance program Compliance has become one of the fastest-growing areas in the private equity (PE) space. Mirroring trends from the hedge fund industry, recent surveys indicate that PE managers rank compliance as the single most challenging aspect of their business. Reports also indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average spend at least 15 - 20% of their operating budgets on this area. General Partners (GPs) have also significantly ramped up the hiring of private equity compliance related roles. Private Equity Compliance provides current and practical guidance on key private equity (PE) compliance challenges and trends. Packed with detailed, practical guidance on developing and managing a private equity compliance program, it offers up-to-date case studies and an analysis of critical regulatory enforcement actions on private equity funds in areas including conflict of interest, fees, expenses, LP fun raising disclosures, and valuations. • Provides real-world compliance guidance • Offers information that is tailored to the current compliance practices employed by GPs in the private equity industry. • Provides guidance on managing the compliance risks associated with cybersecurity and information technology risk • Serves as a PE-focused complement to the author's previous book, Hedge Fund Compliance If you’re a private equity investor or compliance officer looking for trusted guidance on analyzing conflicts, fees, and risks, this is one reference you can’t be without.

Alternative Investment Operations

This book provides current and practical guidance on the foundations of how alternative investment managers build and manage their operations.

Alternative Investment Operations

Author: Jason Scharfman

Publisher: Springer Nature

ISBN: 3030466299

Page: 198

View: 641

Alternative investments such as hedge funds, private equity, and fund of funds continue to be of strong interest among the investment community. As these investment strategies have become increasingly complex, fund managers have continued to devote more time and resources towards developing best practice operations to support the actual trade processing, fund accounting, and back-office mechanics that allow these strategies to function. Representative of this operational growth, estimates have indicated that fund managers have seen increased operating budgets of 30% or more in recent years. In today’s highly regulated environment, alternative investment managers have also increasingly had to integrate rigorous compliance and cybersecurity oversight into fund operations. Additionally, with recent advances in artificial intelligence and big data analysis, fund managers are devoting larger portions of their information technology budgets towards realizing technology-based operational efficiencies. Alternative investment fund service providers have also substantially increased their scope and breadth of their operations-related services. Furthermore, investors are increasingly performing deep-dive due diligence on fund manager operations at both fund level and management company levels. This book provides current and practical guidance on the foundations of how alternative investment managers build and manage their operations. While other publications have focused on generalized overviews of historical trading procedures across multiple asset classes, and the technical intricacies of specific legacy operational procedures, Alternative Investment Operations will be the first book to focus on explaining up-to-date information on the specific real-world operational practices actually employed by alternative investment managers. This book will focus on how to actually establish and manage fund operations. Alternative Investment Operations will be an invaluable up-to-date resource for fund managers and their operations personnel as well as investors and service providers on the implementation and management of best practice operations.

Hedge Fund Compliance

Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field.

Hedge Fund Compliance

Author: Jason A. Scharfman

Publisher: John Wiley & Sons

ISBN: 1119240239

Page: 208

View: 472

The long-awaited guide for modern hedge fund compliance program development Hedge Fund Compliance + Website provides straightforward, practical guidance toward developing a hedge fund compliance program, drawn from the author's experience training financial regulators, consulting with government entities, and analyzing hedge fund compliance structures across the globe. In-depth explanations of compliance principles are backed by illustrative case studies and examples. Highly in-demand templates of popular hedge fund compliance documentation provide actionable illustrations of key compliance policies. Designed to assist investors, fund managers, service providers, and compliance job seekers directly, this book describes the fundamental building blocks of the hedge fund compliance function. Compliance is one of the fastest growing areas in the hedge fund space. This reference book provides an essential foundation in modern hedge fund compliance, reflecting the recent changes of this dynamic field. Design and run a hedge fund compliance program Access templates of core compliance documentation and checklists Discover how investors can evaluate and monitor compliance programs Interviews with hedge fund compliance practitioners A steady stream of regulatory changes, combined with the enhanced enforcement efforts of regulators, ensure that hedge funds' compliance-related expenditures will continue to grow. While hedge fund compliance legislation continues to evolve globally, little practical guidance exists for those tasked with the boots-on-the-ground aspects of developing an actual compliance program to comply with best practices and regulatory guidance from leading hedge fund regulators including the US Securities and Exchange Commission, the National Futures Association, the Commodity Futures Trading Commission and the United Kingdom's Financial Conduct Authority. Hedge fund professionals and investors need a fundamental framework for establishing and evaluating an effective program, and when compliance is the issue, trial and error carries too much risk. Hedge Fund Compliance + Website provides clear guidance and practical tools to meet today's compliance professional needs.

The Private Equity Primer

Depending on the nature of the target company ' s business , an acquiror may
need to consider the potential impact of HelmsBurton or ILSA and the
corresponding blocking legislation . Diligence and Compliance A private equity
company with ...

The Private Equity Primer

Author:

Publisher:

ISBN:

Page: 240

View: 992

Private Equity Funds

"The best guide to private equity funds.

Private Equity Funds

Author: James M. Schell

Publisher: Law Journal Press

ISBN: 9781588520883

Page: 1798

View: 307

"The best guide to private equity funds. Insight and explanations for both fund sponsors and investors. The gold standard." --Andrew Zalasin, General Partner and CFO: RRE Ventures Best Practices for Organizing and Managing a Fund With nearly $7 trillion invested in more than 20,000 funds, investor interest in the private equity industry has returned, despite the economic turmoil of recent years. Still, guidance about the organization and administration of these funds is tough to find. This 1,400+ page resource, will equip corporate lawyers, investment professionals, and tax practitioners and with best practices to manage these funds effectively. Private Equity Funds: Business Structure and Operations covers a wide range of important issues, such as: the key economic differences between various types of funds; structuring the private equity fund to meet economic expectations and investment goals; securing maximum tax benefits for the sponsor of the fund; duties of the fund's General Partner and Investment Advisor; the major regulatory issues affecting the private equity fund; and much more. Private Equity Funds: Business Structure and Operations reflects the aftermath of the financial crisis of 2007 to 2009. The authors also focus on cyber risk and the compliance obligations of investment advisers.

The Private Equity Analyst

Dow Jones Private Equity Analyst September 2008 Insight firm with a hybrid
public - private model , said the new rule has ... chief compliance officer ,
controller Intermediate Capital 30 across IT , HR , IR , finance , tax , fund Private
equity firms ...

The Private Equity Analyst

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The Art of Aesthetic Surgery Three Volume Set Third Edition

Industry. 8.4.1 Private Equity Investment from private equity funds, hedge funds,
and opportunistic businesses has been an ... The drawback to this influx of
private equity capital is a lack of sophistication regarding the principles for
compliance.

The Art of Aesthetic Surgery  Three Volume Set  Third Edition

Author: Foad Nahai

Publisher: Thieme

ISBN: 1684200369

Page: 1700

View: 722

The ultimate guide to aesthetic surgery from world famous aesthetic surgeon Foad Nahai The Art of Aesthetic Surgery, Principles and Techniques, Third Edition by internationally revered aesthetic surgeon Foad Nahai, five distinguished co-editors, and more than 100 new contributors is an encyclopedic, three-volume masterwork. Considered the quintessential resource on cosmetic surgery since its inception, the new edition features an e-book and access to online videos for the first time. The updated text and videos reflect significant and numerous exciting developments in aesthetic medicine and surgery. An impressive group of renowned global experts contribute valuable insights, pearls, and considerable expertise. Twenty new chapters feature a wealth of diverse state-of-the-art topics, while other chapters have been updated and greatly expanded. New areas of focus include practice management, volume enhancement in periorbital and facial rejuvenation, minimally invasive neck techniques, and body contouring procedures such as umbilicoplasty. Patient safety is prominent, with a major chapter on safety considerations in aesthetic surgery, as well as discussion of complications in different anatomic regions. Key Highlights A state-of-the-art review of facial aesthetic surgery, with detailed coverage of all the key techniques needed to achieve facial rejuvenation The latest primary and revision breast surgery techniques for augmentation, reduction, mastopexy, fat grafting, and asymmetry management Significant new chapters on minimally invasive treatments reflect enormous changes in this field since the last edition The addition of two new dedicated sections on genital rejuvenation and gender affirming surgery About 6,000 beautiful illustrations enhance understanding of state-of-the-art approaches An expanded video library featuring 14 new clips and the addition of pre- and post-op patient images provides expert procedural guidance This quintessential resource provides trainees and experienced practitioners with a solid foundation for learning basic principles and techniques in aesthetic surgery, with the ultimate goal of improving patient outcomes, developing innovations, and advancing the specialty.

Private Equity Corporate Governance and the Dynamics of Capital Market Regulation

This important book addresses the implications of private equity for the governance of corporations, the capital markets in which they operate and the professionals who provide corporate advisory services.

Private Equity  Corporate Governance and the Dynamics of Capital Market Regulation

Author: Justin O'Brien

Publisher: Imperial College Press

ISBN: 1860948499

Page: 424

View: 359

Global capital markets are in a state of flux. Castigated in the past as OC Barbarians at the GateOCO, private equity providers are once again proclaiming the end of the public corporation. This important book addresses the implications of private equity for the governance of corporations, the capital markets in which they operate and the professionals who provide corporate advisory services. The book evaluates and ranks the precise nature of the risk posed by private equity by situating it within an overarching analysis of the dynamics of financial capitalism. Key issues addressed include: the management of conflicts of interest, fiduciary duties, the role of enforcement, the efficacy of adopting a rules- or principles-based system of regulation, the form and function of compliance, and a detailed examination of how to embed accountability into an integrity system for the financial markets. The book therefore has enormous benefit for industry, regulatory and academic communities alike. Sample Chapter(s). Introduction: The Dynamics of Capital Market Governance (157 KB). Chapter 1: The Conceptual Underpinnings of Australian Securities Regulation (116 KB). Contents: Introduction: The Dynamics of Capital Market Governance (J O''Brien); The Conceptual Underpinnings of Australian Securities Regulation (M Rodgers); Evolving OCyRules of the GameOCO in Corporate Governance Reform (J Hill); Overlapping Fields and Constructed Legalities: The Endogeneity of Law (L B Edelman); The Significance of Relative Autonomy in How Regulation of the Financial Services Sector Evolves (G Gilligan); ASIC v Citigroup: Investment Banks, Conflicts of Interest, and Chinese Walls (P F Hanrahan); Enforcement of Capital Markets Regulation: The United Kingdom and Its International Markets (I MacNeil); Why Auditors Don''t Find Fraud (N M Hodson); Compliance, Ethics and Responsibility: Emergent Governance Strategies in the US and UK (D McBarnet); Professional Norms (D Cocking); Sarbanes-Oxley and the Search for Accountable Corporate Governance (M J Dubnick); Charting an Icarian Flightpath: The Implications of the Qantas Deal Collapse (J O''Brien); Institutions, Integrity Systems and Market Actors (S Miller). Readership: Postgraduate law and business students; also suitable for general informed market (e.g. investment bankers, compliance professionals, providers of corporate advisory services including lawyers, tax advisors and auditors).

LexisNexis Corporate Affiliations

523920 Steven Duff ( Pres & CEO ) Michael Zuckerman ( Chief Compliance
Officer ) Vincent Sellecchia ( Chief Investment Officer ) Naomi Friedland ... ( 33 ) 1
5832 3000 Web Site : www.natixis.fr Private Equity & Private Banking Services
S.I.C .

LexisNexis Corporate Affiliations

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Private Equity and Venture Capital

After the financial crisis, private equity and venture capital firms have been operating in an increasingly uncertain environment, with economic fragility and market volatility making investment sluggish.

Private Equity and Venture Capital

Author: Anna Gervasoni

Publisher:

ISBN: 9781782720911

Page: 445

View: 357

After the financial crisis, private equity and venture capital firms have been operating in an increasingly uncertain environment, with economic fragility and market volatility making investment sluggish. The industry faces difficult questions from regulators and legislators who are scrutinizing regulatory, compliance, and tax issues. The days of self-regulation are a thing of the past. Editor Anna Gervasoni, General Manager of the AIFI since 1986, has assembled a team of contributors working at the very heart of the industry to collectively track the evolution of the private equity and venture capital industry.

Investment Company Regulation and Compliance

This rule does not , however , apply to unregistered investment funds ( such as
hedge funds or private equity funds ) that are excluded from the Investment
Company Act definition of investment company , nor does it apply to 17 See
Securities ...

Investment Company Regulation and Compliance

Author:

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Venture Capital

... Diligence in a Securities Offering $ 250 19787 Consumer Product Safety
Regulation : Impacts of the 2008 Amendments $ 135 16933 Corporate
Compliance Answer Book 2009 $ 295 601 Corporate Legal Departments $ 295
9287 Corporate ...

Venture Capital

Author:

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View: 862